Ahead of the announced Barclays’ merges with Stifel, two big producers, Jim Ertmann and Ben Foster have left from Barclays to join Merril Lynch.
It was really fun seeing you fight for us. You have an amazing way of thinking out of the box.
Ahead of the announced Barclays’ merges with Stifel, two big producers, Jim Ertmann and Ben Foster have left from Barclays to join Merril Lynch.
In what looks to be a growing trend for London-based Barclays, a group with $3 billion in assets under management has decided to leave the firm rather than joining Stiffel
Amidst swirling speculation regarding its connections with a client linked to the Prophecy Asset Management collapse, B. Riley Financial Inc. has conducted an internal
review, concluding no affiliations with the defunct hedge fund.
A recent analysis by Golsan Scruggs reveals a staggering 231 percent increase in errors-and-omissions (E&O) liability claims among registered investment advisor (RIA)
insurers.
According to a recent analysis, Reg BI-related actions quickly have ascended to the top five issues for FINRA, with fines totaling $6 million in 2023.